Brokerage admins complete the one-time compliance setup before the brokerage relies on BrokerPlus for its AML program. Solo workspaces do not use this brokerage wizard.
Open the Setup Wizard
Open the Compliance item in Get Started, or open Brokerage > Compliance and select Get started on the activation banner at the top of the Setup tab. The setup page is available only to an admin in a brokerage workspace.
Complete the Required Steps
- Choose at least one designated compliance officer. You can select an active teammate or enter an email for someone who still needs an invitation.
- Select every province where the brokerage operates.
- Choose the people who can review and sign off on compliance work. Existing non-admin users selected here receive the Compliance access level when setup is completed.
- Confirm the responsibility handover shown in the wizard.
- Upload the applicable program documents, or continue when an optional document is not ready.
The final review cannot activate the program without an officer and at least one operating province.
Plan Screening for Existing Clients
If BrokerPlus already contains clients, choose how to bring that book into the program:
- run automated bulk screening;
- upload a ZIP archive of existing checklists for mapping;
- complete checklists one client at a time in BrokerPlus;
- defer the back-book work and keep the reminder active.
If there is no existing book, the wizard shows the screening plan and proceeds to activation.
Choose reviewers deliberately
The Compliance role can review screenings, EDD cases, sanctions incidents, and monitoring alerts across the brokerage. It does not grant billing, team-management, or revenue access.
What to Do Next
That is the last article in the brokerage track. Go back to the Academy.